Agency Name
Continuity of Operations Plan (COOP)
Table of Contents
I.Introduction
A.Purpose
B.Applicability and Scope
C. Objectives ...... 2
D. Planning Considerations ...... 3
E. Essential Fuctions ...... 3
F. Authorites and References...... 4
II.Concept of Operations
A.Phase I: Activation and Relocation
1. Overview ...... 4
2. Decision Process ...... 4
3. Alert, Notification, and Implementation Process
4. Direction and Control...... 6
B.Phase II: Alternate Facility Operations
1. Overview ...... 7
2.Vital Files, Records, and Databases
3. Alternate Location...... 8
4. Interoperable Communications ...... 8
C.Phase III: Reconstitution...... 9
1. Overview ...... 9
2. Procedures ...... 9
3. After-Action Review ...... 9
III. Test, Training, and Exercises…………………………………………………….......... 9
IV.Program Management ...... 10
Annex A: Contact Roster, Delegation of authority by name and Phone Tree...... A-1
Annex B: Operational Checklists ...... B-1
Annex C: Alternate Location/Facility Information ...... C-1
Annex D: Personal Preparedness and Drive Away Kits ...... D-1
Annex E: All Hazards Staffing……………………………………………………………..E-1
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I. Introduction
A. Purpose
This Continuity of Operations Plan (COOP) establishes uniform guidance to support mission essential functions of the XXXXXXXXX Department/Divisionduring an emergency of any type (natural, economic or manmade) that may disrupt normal operations. Specifically, this plan is designed to provide policy guidance to prepare for, respond to, recover from andmitigate the emergency with the end result being a return to normal operating conditions.
B. Applicability and Scope
This plan is applicable to all personnel in the office of the XXXXXXX Department/Division. It establishes fundamental policies, identifies mission essential functions, essential personnel, vital records, and alternate facilities. The plan:
1.Is flexible to allow any section to be utilized as needed.
2.Identifies staff roles, resource allocation, lines of authority, succession
and responsibilities.
3.Addresses the prioritization of local resources.
4. Provides for the relocation from the primary operations facility to an
alternateoperations facility.
- Provides for the resumption and return to normal operating conditions.
C. Objectives
The objective of the COOP is to support the Essential Functions of theXXXXXXX Department/Division across a wide range of emergencies in addition to ensuring the continuation of non-emergency functions. The objectives of the plan are to:
1. Support continuous operations by identifying mission essential functions.
2. Establish lines of succession by name of position.
3. Identify to whom authority should be delegated.
4. Identify the data and communication systems necessary to support mission
essential functions.
5. Plan for the protection of records and critical equipment.
6. Plan for orderly response and recovery from an incident to re-establish
normal operations.
D. Planning considerations
1. Available COOP capability must be maintained at a high level of readiness and be operational (if moved to an alternate location) within 12 hours after activation. The COOP must have the capability to be activated outside of normal business hours and be capable of implementation with or without warning. Italso must be capable of maintaining operations for up to 30 days.
2. A major emergency or disaster could happen at any time.
3. Adverse conditions could cause a larger than expected demand for services from the XXXXXXXDepartment/Division.
4. Systems supporting daily functions may not be available.
5. The health, safety, emotional well-being and preparedness of all county employees and their families must be addressed.
E. ESSENTIAL FUNCTIONS
The following functions have been deemed essential for the XXXXXXX Department/Division must be continued under all circumstances. Tasks not deemed essential should be deferred until additional staff and resources become available. Essential functions are identified and prioritized.
1 / XXXXXXXXXX2 / XXXXXXXXXXXXX
3 / XXXXXXXXXX
4 / XXXXXXXXXXXXX
F. Authorities and References
1. Presidential Executive Order 12656, Issued 11/18/88
2. Presidential Decision Directive 67, Issued 10/21/98
3. Homeland Security Presidential Directive 8; Issued 12/17/03
4. Federal Preparedness Circular 65, June 15, 2004
5. Florida Statutes, Sections 252.35 (2) (k), 252.35 (2) (n)
6.
II. Concept of Operations
A. Phase I: Activation andrelocation
1. Overview
This phase provides for the XXXXX Director/Manager and staff to notify department personnel of the need to relocate operations to an alternate facility and to be functional within 12 hours.
2. Decision Process
The decision to activate the COOP may be required due to a number of circumstances that make the facility unusable, inaccessible, or due to credible threats that preclude use of the facility. The circumstances will determine the extent to which the plan will be activated. The decision to activate the plan may be made during duty or non-duty hours and with or without warning as outlined below:
a. With warning, during either duty hours or non-duty hours:
Key staff will evaluate the situation and determine the appropriate course of action. Advance notice will enable the full execution of this plan with a complete and orderly notification, activation, and deployment to the alternate location.
b. Without warning, during duty hours:
Activation of the plan may begin with an evacuation of the XXXXXXXXXXXXXXXXBuilding. Personnel on duty will evacuate the building according to the published evacuation plan and assemble at designated assembly area.When all personnel have been accounted for, the decision to activate the plan, or parts of the plan, will be made based on an assessment of conditions.
c. Without warning, during non-duty hours:
The first person learning of the possible need to activate the plan will contact the XXXXXXXXXXXor designeeproviding pertinent information that might warrant activation of this plan.
d. The XXXXXXXXXor designated successor shall have authority to activate this plan.
3. Alert, Notification, and Implementation Process
a. Once the decision is made to activate the plan, all employees must be alerted in accordance with Annex A. The alert will normally be by telephone, however, the following methods may also be used.
- Text Message
- Announcements through local media
b. Employees should remain at their office or home until specific guidance is received.
c. Notification of the XXXXXXXXXCOOP activation must be provided to:
- Other Departments as appropriate
- Vendors
- Clients
d. The XXXXXXXXXX staff will coordinate with the Public Information Officer to disseminate the location and telephone number information for the alternate location to County Departments and Citizens.
e. All employees shall be assigned a COOP function and shall able to deploy and be operational within 12 hours after notification.
f.Employees shallbe prepared to support continuing operations for up to 30 days. Additional resources may be required.
(1) The Department of Human Resources shall support personnelrequirements.
(2) The Department of Financial Management shall support additional expendable supplies.
4. Direction and Control
a. Orders of Succession
To enable the performance of essential functions under any conditions the following line of succession is established. Temporary succession will take place whenever the proceeding position is unable, for whatever reason, to assume management of the situation. Temporary succession will terminate when the preceding position is able to resume normal duties.
SuccessorsXXXXXXXXXXXXXX
XXXXXXXXXXXXX
XXXXXXXXXXXXX
b. Delegations of Authority
- Delegations of authority will take effect when normal channels of direction are disrupted and terminate when these channels are resumed.
- All successors assume the authority(ies) of the position they are succeeding to. (if this is not the case, add bullet below).
- The XXXXXXXXX may provide direct assignment of authority for a specific responsibility.
B. Phase II: Alternate Facility Operations
1. Overview
a. Hours of operation at the alternate facility may be situational dependant. Normal hours of operation will be standard unless the event requires 24/7 operation of the alternate facility.
b. Access and security at an alternate facility will be predicated on the type of event that has caused the COOP to be activated. The XXXXXXXXXXXXXor designated successor will consultand coordinate with the (insert agency) to determine the proper level of desired security.
2. Vital Files, Records, and Databases
Vital File, Record, or Database / Form of Record (e.g., hardcopy, electronic) / Pre-positioned at Alternate Facility / Hand Carried to Alternate Facility / Backed up at Third LocationStaff Roster with contact information / X / X
Department Director Contact Information
Matrix of County Departments primary and Alternate Locations
Legal Authority Lists and Resolutions
COOP
3. Alternate Location/Facility Information(See Annex C)
- The Alternate COOP location is situational dependant.
- Notification for COOP will include location site. (See Annex C)
4.Interoperable Communications
a. Interoperablecommunication is the ability of two or more pubic agencies to exchangeinformation, when and where it is needed,even when different communication/information systems are involved. It encompasses the ability to exchangeinformation among fixed facilities, mobileplatforms, and portable (personal) devices for effective and efficient coordination, communication, andsharing of information.
b. The XXXXXXXXXXXXrequirecommunications at alternate facilities to obtain and share information with essential personnel, adjacent jurisdictions and State and Federal agencies to accomplish essential functions.
c. The following chart of Communications Systems and Alternate Facilities provides known connectivity when systems are operable.
CommunicationsSystem / Alternate Facility #1 / Alternate Facility #2 / Alternate Facility #3
Commercial Telephone / X
Cell Phone Capable / X / X
Internal Telephone
Secure DataCounty Server / X
IntraNet / X / X
Internet / X / X
800 mhz Radio
C. Phase III: Reconstitution
1. Overview
As soon as possible after relocation to an alternate facility, the XXXXXstaff will begin to develop plans and initiate actions to:
- salvage, restore, and recover the impacted facility;
- sustain operations at the alternate facility for an indefinite period of time;
- acquire a new facility.
2. Procedures
The XXXXXXXXXXstaff will coordinatea schedule to provide an orderly transition of operations from the alternate facility to the new or restored primary facility. The schedule will include notification of employees returning to work, vendors, and other agencies.
3. After-Action Review
Prior to the cessation of operations at the alternate facility, the XXXX XXXXXXXXstaff will initiate an information collection process in order to conduct an “After Action Review” (AAR). The information will, at a minimum, include information from employees working during the COOP activation and a review of lessons learned to include processes that were effective and less than effective. The AAR should include recommended actions to improve areas found deficient. Recommendations for changes will be incorporated into the COOP Annual Review.
III. Test, Training, and Exercises
A. A training and exercise schedule designed to test and evaluate the COOP will be maintained.
The department will consider the following:
1. Exercises to test individual essential elements, interrelated elements or entire plan(s).
2. Tests and training to demonstrate viability and interoperability of the COOP .
3. Training for department COOP staffs to verify knowledge of responsibilities and integration of skills necessary to implement the COOP and execute essential functions.
4. Testing of alert and notification procedures.
5. Orientation for COOP staffs arriving at an alternate operating facility.
6. COOP exercises for a full deployment to the alternate site.
B. Tests, training and exercises focus on the Standard Operating Procedures (SOPs) and data required by the various COOP personnel and teams needed to perform their designated roles.
C. Exercises will be conducted when a major revision to the plan has been completed, when additional department work/production systems are implemented, when significant changes in systems, applications and/or data communications have occurred, and when the preparedness level of continuity teams must be verified.
- Exercises may include structured walk-through, tactical exercises, live production exercises, simulations and announced/unannounced exercises.
D. Employeesaretrained on the following:
•COOPresponsibilities.
•Employee responsibilities.
•Equipment, supplies available.
•Family preparedness (Annex D).
•CPR, First Aid and disaster response (as available).
E. An After Action Review (AAR) and Plan Update willbeconducted following every test and/or exercise. A review of lessons learned to include processes that were effective and less than effective will be included. The AAR should include recommended actions to improve areas found deficient. Recommendation for changes will be incorporated into the COOP Annual Review.
IV. program Management Plan
A.The program management plan is a critical component of the COOP and serves to assist department and county management and policy makers to define short and l long-range goals and objectives.
B.The Director/Manager will annually review the COOP essential elements and examine the following key areas:
1. Define short and long term goals and objectives to resolve capability analysis shortfalls.
2. Forecast budgetary requirements.
3. Anticipate and address any issues; identify potential obstacles; and create opportunities for cost savings by avoiding duplication or sharing capabilities.
C.The following table defines program management requirements.
Task / Frequency ResponsibilityUpdate COOP / Annually / XXXXXXXXXX
Update telephone rosters / Quarterly / XXXXXXXXXX
Review status of vital files, records, and databases / Quarterly / XXXXXXXXXXXX
Conduct alert and notification tests / Semi-Annually / XXXXXXXXXXXXXX
Plan COOP exercises. / Annually / XXXXXXXX
Annexes
Annex A: Contact list
Annex B: Operational Checklists
Annex C: Alternate Location/Facility Information
Annex D: Personal Preparedness and Drive Away Kits.
Annex E: Staffing Plan
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